Operations Content

[32857] October 23, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: ISDA Launches Fallback Protocol and Supplement We wanted to alert you to...

[32855] October 22, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: Tough Legacy...

[32851] October 20, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: IRS Guidance Clarifies Tax Implications of Payments from Qualified Plans to State Unclaimed Property Funds, Including Extension of...

[32842] October 19, 2020 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Bank Regulation COVID-19 Exchange-Traded Funds (ETFs) Financial Stability Money Market Funds Operations Portfolio Oversight Risk...

[32819] October 9, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32825] October 9, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: ISDA Announces Forthcoming Publication of Fallbacks We wanted to alert you...

[32813] October 7, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Swap Data Reporting Requirements In September, the Commodity Futures Trading Commission...

[32787] September 30, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution...

[32792] September 30, 2020 TO: ICI Members Operations Committee Privacy Issues Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Privacy State Issues RE: California Extends Privacy Law Exclusion for Employee Information Until January 1, 2022 As...